Make the Most of FINRA’s 529 Share Class Disclosure Initiative |
FINRA is encouraging firms to undertake a qualitative review of their supervisory practices ranging back to 2013—not a full quantitative analysis of individual 529 plan transactions or recommendations.
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Investment Adviser Ordered to Pay $1.6M Restitution to Pension Plan |
The Department of Labor’s Employee Benefits Security Administration determined he defrauded $2 million from the Rehabilitation Center for Children & Adults Inc. Pension Trust
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Stretching the Match May Produce Unintended Consequences for NHCEs |
A Vanguard study focusing on non-highly compensated employee (NHCE) behavior finds higher match thresholds are typically associated with lower plan participation and lower employee contribution rates.
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Colonial Life and FutureFuel Create Student Loan Repayment Solution |
The firms say strong demand among employers and employees for student loan repayment support solutions made their new partnership “an easy decision.”
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